Individual Firm
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James Warren Baker
CRD#: 2661583
IA
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GROVE POINT ADVISORS, LLCCRD#: 313171 5301 Carlisle Road
Dover, PA 17315
Dover, PA 17315
GROVE POINT INVESTMENTS, LLCCRD#: 1763 5301 Carlisle Rd
Dover, PA 17315
Dover, PA 17315
0
Disclosures
29
Years of Experience
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State Registrations
B
California 11/5/2020
B
New Jersey 11/5/2020
B
Colorado 5/30/2023
B
New Mexico 11/5/2020
B
Connecticut 11/5/2020
B
New York 11/5/2020
B
Delaware 1/30/2020
B
North Carolina 11/6/2020
B
District of Columbia 9/13/2024
B
Ohio 11/5/2020
B
Florida 2/20/2018
B
Pennsylvania 12/5/2017
B
Illinois 11/5/2020
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Pennsylvania 4/1/2021
B
Maine 12/6/2017
B
South Carolina 11/5/2020
B
Maryland 12/5/2017
B
Tennessee 10/27/2021
B
Massachusetts 5/16/2023
B
Virginia 11/5/2020
B
Missouri 1/3/2023
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Washington 11/5/2020
B
New Hampshire 12/5/2017
SRO Registrations
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Registered with this firm since 4/1/2021
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Registered with this firm since 12/5/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/05/2017 - 04/01/2021 | BETHESDA, MD | |
IA | 02/17/2004 - 12/08/2017 | YORK, PA | |
B | 02/13/2004 - 12/08/2017 | YORK, PA | |
IA | 07/17/1998 - 02/18/2004 | HARRISBURG, PA | |
B | 12/05/1995 - 02/18/2004 | OVERLAND PARK, KS |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.